Senior Risk Management Analyst, Transparency Services

FINRA • Rockville, MD

5d • Hybrid

About The Position

The Senior Risk Management analyst in Transparency Services is responsible for reviewing and analyzing a sampling of daily work performed by Transparency Service Market Operations analysts. This position employs well-developed subject-matter expertise and institutional knowledge to ensure critical activities are performed according to documented procedures and guidelines to meet service level agreements, as appropriate. This is an entry-level professional individual contributor who works under close supervision.

Requirements

• A Bachelor’s degree in Finance or Business preferred and a minimum of three (3) years of relevant experience required; or an equivalent combination of education and directly related experience.
• Experience utilizing research/analytical skills, quality control, and/or root cause and trend analysis, required.
• A general understanding of relevant FINRA/ SEC rules and regulations is required.
• Strong organizational, analytical and interpersonal skills are required.
• Strong attention-to-detail.
• Basic writing skills and excellent verbal communications skills required.
• Ability to extrapolate and analyze data and information is required.
• Demonstrated experience using Excel to manage large datasets, perform data validation, and generate recurring reports with a high degree of accuracy.
• Able to handle multiple projects/assignments simultaneously with competing priorities.

Responsibilities

• Compiles and maintains statistics related to Market Operations staff daily work functions.
• Perform reviews of the job functions for timeliness and quality performance with limited supervision and guidance.
• Conducts statistical sampling of core activities and performs analyses of results to ensure compliance with documented policies and procedures.
• Performs routine quality control reviews of key Transparency Services processes and job functions and assists with the development of action plans to improve accuracy rates, reduce risk, and eliminate routine errors.
• Assist with the department's Procedures Portal to ensure controlled access, content accuracy, and compliance with established protocols.
• Maintains user permissions, oversees timely procedure updates according to departmental schedules, and administers proper check-out/check-in workflows for procedure modifications.
• Provides support on non-routine matters and statistical overviews.
• Demonstrates FINRA’s values.
• Collaborates, both in-person and virtually, in furtherance of FINRA’s mission of investor protection and market integrity.

Benefits

• Comprehensive health, dental and vision insurance.
• Basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal insurance.
• Immediate participation and vesting in a 401(k) plan with company match.
• Eligibility for participation in an additional FINRA-funded retirement contribution.
• Tuition reimbursement.
• Commuter benefits.
• Adoption assistance.
• Backup family care.
• Surrogacy benefits.
• Employee assistance.
• Wellness programs.
• 15 days of paid time off.
• 5 personal days.
• 9 sick days.
• Two volunteer service days.
• Military leave.
• Jury duty leave.
• Bereavement leave.
• Voting and election official leave.
• Care of a family member leave.
• Childbirth and parental leave.
• Nine paid holidays.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level